Our Compliance Services
Regulatory Compliance in the Financial Broker Industry
Compliance with regulations and legislation is not just a legal obligation but also a strategic necessity for a financial broker. It protects your clients, enhances your reputation, maintains market integrity, mitigates risks, and facilitates business expansion, fostering a thriving and trustworthy financial industry.
Building a Compliant Firm
At the Compliance Specialist we are with you every step of the way on your journey to a successful brokers firm; from the submission to the Central Bank for your authorisation, to implementing efficient operational processes by setting standards and protocols and a governance framework that will help identify, assess and mitigate risks effectively.
Don’t leave your compliance to chance, allow us to help you ensure the protection of your clients interests by reducing the likelihood of errors and ensuring that your firm operates efficiently and responsibly.
Our Services
Broker Compliance
Ensure your firm remains compliant in a constantly evolving landscape.
Central Bank Authorisations
Allow us to support you in your first step to starting your firm
Central Bank Compliance Audits
Compliance excellence focused on your business needs
GDPR Audits
Your privacy is our priority
GDPR Data Mapping
Ensure Compliance with our expert GDPR Data Mapping and RoPA Assistance
Data Protection Impact Assessment
A crucial step in minimising risks
GDPR Training
GDPR Workshops for enhanced Data Protection Compliance
Data Protection Officer Services
Ensuring GDPR Compliance for your Business
CONTACT
Talk to us about your requirements.
AFFORDABLE PEACE OF MIND
At The Compliance Specialist, compliance is not just a requirement; it's our passion. Let our expertise work with yours. Partner with us today and experience seamless compliance solutions tailored just for you.
The Compliance Specialist works with you on compliance. As with every business, we understand the challenges that come with day to day operations. At The Compliance Specialist we strive to provide a service to our clients that gives peace of mind.
We also talk your language – because, why make things more complicated than they already are.
And finally, because all you have in this life is your name, honesty, trustworthiness & professionalism matters in a reputation, and we will strive to help you keep that safe.